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The Wealth Management Process

Step #1: Understanding Lifestyle, Business & Financial Goals

This is probably the most important stage in the process. This stages allows me as your Advisor to determine where you stand today from a financial standpoint. At this point we would discuss your financial goals and take a look at your current financial situation.


Step #2: Analyze Your Current Situation

After reviewing your current situation I would then determine whether you are on track to achieving your financial goals.


Step #3: Creating a "Bulletproof" Written Financial Plan

The Written Financial Plan will basically map out the road to achieving the clients financial goals whether that be Retirement, children's education, paying off debts or a combination of all three along with setting up the appropriate amount and type of insurance coverage that would be required to protect the family in the future. In the Financial Plan, using realistic numbers, I am able to show clients exactly what they need to do to get to where they want to go. That simple yet very effective strategy allows people to feel comfortable knowing that they are doing everything they need to do to get to where they want to go. It provides comfort to people knowing that they are on track to achieving their financial goals. If you do not have a Written Financial Plan, the saying "if you fail to plan you plan to fail" says it all.


Step # 4: Determine Sequence for Action Steps

This is the stage in the process, where I work with the clients to determine what will be the sequence of steps. It does vary from client to client and it does vary depending on the available income that we have to work with. Ultimately completing all steps in the financial plan is our end target.


Step #5: Put Your Plan into Action

Putting the plan into action is really the final step in the process. This involves getting the client to come into the office to go through the specific details for the investment process. This would involve investment decisions and what type of insurance needs are required. This stage generally includes paperwork, which would include filling out an Asset Allocation questionnaire, which will help me to determine clients' comfort level when it comes to investing.


Step #6: Monitor, Review & Fine Tune

This stage is basically a maintenance could use the analogy of a Dentist. My assistant would at this point book the client in every six months to do a complete review of their financial situation. This allows us to keep on top of the changes that may occur. In today's market place it is important to stay on top of the current Market Situations to determine how this may or may not affect the clients financial goals.


71 Albert Street | Oshawa, Ontario | L1H 4R1 | Phone: 905.436.5078 | Toll Free: 1.800.879.3511

Mutual funds provided through FundEX Investments Inc.

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